Banking and financial services regulation

著者

書誌事項

Banking and financial services regulation

William Blair ... [et al.] ; with contributions by Richard Alexander ... [et al.] ; consultant editor, Keith Palmer

Butterworths LexisNexis, c2002

3rd ed

大学図書館所蔵 件 / 全8件

この図書・雑誌をさがす

注記

Previous ed.: 1998

Includes index

内容説明・目次

内容説明

The 3rd edition of "Banking and Financial Services Regulation" provides detailed analysis and practical guidance on the UK regulatory system as it affects banking and financial services. The book has been written by a team of well known authors comprising practising lawyers, compliance officers, in-house counsel and academics.

目次

  • "Banks and the Regulatory Regime
  • The Financial Services Authority and Financial Services and Markets Act
  • Regulated Activities - Banking and Investment Business
  • Other Regulated Activities
  • Authorisation and Approved Persons
  • Deposit Taking and Banking Supervision
  • Investment Management
  • Marketing and Financial Promotion
  • Market Misconduct
  • The Prevention of Money Laundering and Terrorist Finance
  • Client Care
  • Client Money
  • Record Keeping and notifications
  • Ensuring Compliance: Managing Regulatory and Reputational Risk
  • Capital Adequacy
  • Financial Derivatives
  • Global Custody
  • Listing and Regulated Exchanges and Clearing Houses
  • Investigations, Discipline and Enforcement
  • FSA decision making and the Financial Services and Markets Tribunal
  • International Supervisory Co-operation"

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